Module 9: SOIL ULTIMATE LIMIT STATE

Ultimate limit state defines a limiting stress or force that should not be exceeded by any conceivable or
anticipated loading during the design life of a foundation or any geotechnical system.

Through a foundation, loads from a structure are transferred to the ground. A foundation itself is a structure
often constructed form concrete, steel, or wood. A geotechnical engineer must ensure that a foundation
satisfies the following two stability conditions: (a) the foundation must not collapse or become unstable under
any conceivable loading and (b) settlement of the structure must be within tolerable limits.

The lowest part of a structure generally is referred to as the foundation. Its function is to transfer the load of
the structure to the soil on which it is resting. A properly designed foundation transfers the load throughout
the soil without overstressing the soil. Overstressing the soil can result in either excessive settlement or shear
failure of the soil, both of which cause damage to the structure. Thus, geotechnical and structural engineers
who design foundations must evaluate the bearing capacity of soils.

Depending on the structure and soil encountered, various types of foundations are used. A spread footing is
simply an enlargement of a load-bearing wall or column that makes it possible to spread the load of the
structure over a larger area of the soil. In soil with low load-bearing capacity, the size of the spread footings
required is impracticably large. In that case, it is more economical to construct the entire structure over a
concrete pad. This is called a mat foundation.

Pile and drilled shaft foundations are used for heavier structures when great depth is required for supporting
the load. Piles are structural members made of timber, concrete, or steel that transmit the load of the
superstructure to the lower layers of the soil. According to how they transmit their load into the subsoil, piles
can be divided into two categories: friction piles and end-bearing piles. In the case of friction piles, the
superstructure load is resisted by the shear stresses generated along the surface of the pile. In the end-bearing
pile, the load carried by the pile is transmitted at its tip to a firm stratum.

In the case of drilled shafts, a shaft is drilled into the subsoil and then is filled with concrete. A metal casing
may be used while the shaft is being drilled. The casing may be left in place or may be withdrawn during the
placing of concrete. Generally, the diameter of a drilled shaft is much larger than that of a pile. The distinction
between piles and drilled shafts becomes hazy at an approximate diameter of 1 m, and the definitions and
nomenclature are inaccurate.

Figure 9.1. Common types of foundations: (a) spread footing; (b) mat foundation; (c) pile foundation; (d) drilled shaft foundation;

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Spread footings and mat foundations generally are referred to as shallow foundations, whereas pile and
drilled-shaft foundations are classified as deep foundations. In a more general sense, shallow foundations are
foundations that have a depth-of-embedment-to-width ratio of approximately less than four. When the depth-
of-embedment-to-width ratio of a foundation is greater than four, it may be classified as a deep foundation.

Two important factors that are to be considered are:

a) The foundation must be stable against shear failure of the supporting soil.
b) The foundation must not settle beyond a tolerable limit to avoid damage to the structure.

The other factors that require consideration are:

(a) location
(b) depth of the foundation.

In deciding the location and depth, one has to consider:

a) erosions due to flowing water,
b) underground defects such as root holes, cavities, unconsolidated fills,
c) ground water level,
d) presence of expansive soils

In selecting a type of foundation, one has to consider:

a) functions of the structure
b) load it has to carry,
c) the subsurface condition of the soil,
d) cost of the superstructure.

Design loads also play an important part in the selection of the type of foundation. The various loads
that are likely to be considered are:
a) dead loads,
b) live loads,
c) wind
d) earthquake forces,
e) lateral pressures exerted by the foundation earth on the embedded structural elements,
f) the effects of dynamic loads.

In addition to the above loads, the loads that are due to the subsoil conditions are also required to be
considered are :
(a) lateral or uplift forces on the foundation elements due to high water table,
(b) swelling pressures on the foundations in expansive soils,
(c) heave pressures on foundations in areas subjected to frost heave
(d) negative frictional drag on piles where pile foundations are used in highly compressible soils

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DEFINITION OF TERMS:
Foundation is that part of a structure which transmits the building load directly into the underlying soil. If the
soil conditions at the site are sufficiently strong and capable of supporting the required load, then shallow
spread footings or mats can be used to transmit the load.
Footing is a foundation consisting of a small slab for transmitting the structure load to the underlying soil.
Footings can be individual slabs supporting single columns or combined to support two or more columns, or
be a long strip of concrete slab supporting a load bearing wall or a mat.
Embedment depth (𝑫𝒇 ) is the depth below the ground surface where the base of the foundation rests.
Shallow Foundation is one in which the ratio of the embedment depth to the minimum plan dimension, which
is usually the width, is Df/B greater than or equal to 2.5.
Ultimate bearing capacity (𝒒𝒖 ) is the maximum pressure that the soil can support.
Ultimate net bearing capacity (𝒒𝒖𝒍𝒕 ) is the maximum pressure that the soil can support above its current
overburden pressure
Ultimate gross bearing capacity is the sum of the ultimate net bearing capacity and the overburden pressure
above the footing base.
Allowable bearing capacity or safe bearing capacity (𝒒𝒂 ) is the working pressure that would ensure a
margin of safety against collapse of the structure from the shear failure. The allowable bearing capacity is
usually a fraction of the ultimate net bearing capacity.
Overburden pressure (𝒒) is the pressure (effective pressure) of the soil removed to place the footing.
Factor of safety (FS) is the ratio of the ultimate bearing capacity to the allowable net bearing capacity or to
the applied maximum net vertical stress. In geotechnical engineering, a factor of safety between 3 to 5 is used
to calculate the allowable soil bearing capacity.
Ultimate limit state defines a limiting stress or force that should not be exceeded by any conceivable or
anticipated loading during the design life of a foundation or any geotechnical system.
Serviceability limit state defines a limiting deformation or settlement of a foundation, which, if exceeded,
will impair the foundation of the structure that it supports.

ULTIMATE SOIL-BEARING CAPACITY FOR SHALLOW FOUNDATIONS

To understand the concept of the ultimate soil-bearing capacity and the mode of shear failure in soil, let us
consider the case of a long rectangular footing of width B located at the surface of a dense sand layer (or stiff
soil) shown in Figure 9.2a.

Figure 9.2. Ultimate soil-bearing capacity for shallow foundation: (a) model footing; (b) load settlement

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When a uniformly distributed load of q per unit area is applied to the footing, it settles. If the uniformly
distributed load (q) is increased, the settlement of the footing gradually increases. When the value of 𝑞 = 𝑞𝑢
is reached (Figure 9.2b), bearing-capacity failure occurs; the footing undergoes a very large settlement without
any further increase of 𝑞. The soil on one or both sides of the foundation bulges, and the slip surface extends
to the ground surface. The load-settlement relationship is like Curve I shown in Figure 9.2b. In this case, 𝑞𝑢
is defined as the ultimate bearing capacity of soil.

The bearing-capacity failure just described is called a general shear failure and can be explained with reference
to Figure 9.3a. When the foundation settles under the application of a load, a triangular wedge-shaped zone of
soil (marked I) is pushed down, and, in turn, it presses the zones marked II and III sideways and then upward.
At the ultimate pressure, 𝑞𝑢 , the soil passes into a state of plastic equilibrium and failure occurs by sliding.

Figure 9.3. Modes of bearing-capacity failure in soil: (a) general shear failure of soil; (b) local shear failure of soil

If the footing test is conducted instead in a loose-to-medium dense sand, the load settlement relationship is
like Curve II in Figure 9.2b. Beyond a certain value of 𝑞 = 𝑞𝑢 , the load-settlement relationship becomes a
steep, inclined straight line. In this case, 𝑞𝑢 is defined as the ultimate bearing capacity of soil. This type of soil
failure is referred to as local shear failure and is shown in Figure 9.3b. The triangular wedge-shaped zone
(marked I) below the footing moves downward, but unlike general shear failure, the slip surfaces end
somewhere inside the soil. Some signs of soil bulging are seen, however.

BEARING CAPACITY ANALYSIS

Bearing capacity analysis is the method used to determine the ability of the soil to support the required load
in a safe manner without gross distortion resulting from objectionable settlement. The ultimate bearing
capacity (𝑞𝑢 ) is defined as that pressure causing a shear failure of the supporting soil lying immediately below
and adjacent to the footing. Generally, three modes of failure have been identified.
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1. General Shear Failure: a continuous failure surface develops between the edge of the footing and the ground
surface. This type of failure is characterized by heaving at the ground surface accompanied by tilting of the
footing. It occurs in soil of low compressibility such as dense sand or stiff clay.

Figure 9.4. General Shear Failure

2. Local Shear Failure: a condition where significant compression of the soil occurs but only slight heave
occurs at the ground surface. Titling of the foundation is not expected. This type of failure occurs in highly
compressible soil and the ultimate bearing capacity id not well defined.

Figure 9.5. Local Shear Failure

3. Punching Shear Failure: a condition that occurs where there is relatively high compression of the soil
underlying the footing with neither heaving at the ground surface nor titling of the foundation. Large
settlement is expected without a clearly defined ultimate bearing capacity. Punching will occur in low
compressible soil if the foundation is located at a considerable depth below ground surface.

Figure 9.6. Punching Shear Failure

ULTIMATE SOIL BEARING CAPACITY

In general, the ultimate bearing capacity of soil is given by:
𝑞𝑢 = 𝐾𝑐 𝑐 𝑁𝑐 + 𝐾𝑞 𝑞 𝑁𝑞 + 𝐾𝛾 𝛾𝑒 𝐵 𝑁𝛾
where:
𝑞𝑢 – ultimate bearing capacity
𝛾𝑒 – unit weight of soil in KPa or pcf
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𝐵 – width of footing in meter or feet
𝑐 – cohesion of soil in KPa or psf
𝑁𝛾 – factor for unit weight of soil
𝑁𝑐 – factor of soil cohesion
𝑁𝑞 – factor of overburden pressure
𝑞 – overburden pressure (effective stress)
𝐾𝑐 , 𝐾𝑞 , 𝐾𝛾 – earth-pressure coefficients

TERZAGHI’S BEARING CAPACITY EQUATIONS

Terzaghi (1943) used the same form of equation as proposed by Prandtl (1921) and extended his theory to
take into account the weight of soil and the effect of soil above the base of the foundation on the bearing
capacity of soil.
Terzaghi made the following assumptions for developing an equation for determining 𝑞𝑢 :
a) Depth of foundation is less than or equal to its width.
b) No sliding occurs between foundation and soil (rough foundation).
c) Soil beneath foundation is homogenous and semi-infinite mass.
d) Mohr- Coulomb model for soil.
e) General shear failure mode is the governing mode (but not the only mode).
f) No soil consolidation occurs.
g) Foundation is very rigid relative to the soil.
h) Soil above bottom of foundation has no shear strength; is only a surcharge load against the overturning
load.
i) Applied load is compressive and applied vertically to the centroid of the foundation.
j) No applied moments present.

Figure 9.7. Terzaghi’s bearing-capacity analysis

The terms 𝑁𝑐 , 𝑁𝑞 , and 𝑁𝛾 are, respectively, the contributions of cohesion, surcharge, and unit weight of soil
to the ultimate load-bearing capacity. It is extremely tedious to evaluate 𝐾𝑐 , 𝐾𝑞 and 𝐾𝛾 . For this reason,

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Terzaghi used an approximate method to determine the ultimate bearing capacity, 𝑞𝑢 . The principles of this
approximation are the following:
1. If 𝑐 = 0 and surcharge (𝑞) = 0 (that is, 𝐷𝑓 = 0), then
1
𝑞𝑢 = 𝑞𝛾 = 𝛾𝑒 𝐵 𝑁𝛾
2
2. If 𝛾 = 0 (that is, weightless soil) and surcharge (𝑞) = 0, then
𝑞𝑢 = 𝑞𝑐 = 𝑐𝑁𝑐

2. If 𝛾 = 0 (that is, weightless soil) and 𝑐 ′ = 0, then

𝑞𝑢 = 𝑞𝑞 = 𝑞 𝑁𝑞

By the method of superimposition, when the effects of the unit weight of soil, cohesion, and surcharge are
considered, we have
1
𝑞𝑢 = 𝑞𝑐 + 𝑞𝑞 + 𝑞𝛾 = 𝑐𝑁𝑐 + 𝑞 𝑁𝑞 + 𝛾𝑒 𝐵 𝑁𝛾
2
This is referred to as Terzaghi’s bearing-capacity equation.

BEARING CAPACITY FACTORS

∅
𝑁𝑞 = 𝑒 𝜋𝑡𝑎𝑛∅ 𝑡𝑎𝑛2 (45° + )
2
𝑁𝑐 = (𝑁𝑞 − 1) cot ∅
𝑁𝛾 = (𝑁𝑞 − 1) tan 1.4∅
∅ - angle of internal friction

Table 9.1. Terzaghi’s Bearing-Capacity Factors—Nc, Nq and 𝑁𝛾

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GENERAL SHEAR FAILURE:

1. LONG FOOTINGS
1
𝑞𝑢 = 𝑐𝑁𝑐 + 𝑞 𝑁𝑞 + 𝛾 𝐵 𝑁𝛾
2 𝑒

2. SQUARE FOOTINGS
𝑞𝑢 = 1.3 𝑐 𝑁𝑐 + 𝑞 𝑁𝑞 + 0.4 𝛾𝑒 𝐵 𝑁𝛾

3. CIRCULAR FOOTINGS
𝑞𝑢 = 1.3 𝑐 𝑁𝑐 + 𝑞 𝑁𝑞 + 0.3 𝛾𝑒 𝐵 𝑁𝛾

LOCAL SHEAR FAILURE:

For local sear failure, it may be assumed that:
2
𝑐′ = 𝑐
3
2
tan ∅′ = tan ∅
3

1. LONG FOOTINGS
1
𝑞𝑢 = 𝑐′ 𝑁′𝑐 + 𝑞 𝑁′𝑞 + 𝛾 𝐵 𝑁′𝛾
2 𝑒

2. SQUARE FOOTINGS
𝑞𝑢 = 1.3 𝑐′ 𝑁′𝑐 + 𝑞 𝑁′𝑞 + 0.4 𝛾𝑒 𝐵 𝑁′𝛾

3. CIRCULAR FOOTINGS
𝑞𝑢 = 1.3 𝑐′ 𝑁′𝑐 + 𝑞 𝑁′𝑞 + 0.3 𝛾𝑒 𝐵 𝑁′𝛾

The modified bearing capacity factors 𝑁′𝑐 , 𝑁′𝑞 and 𝑁′𝛾 are calculated using the same general equations as
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that for 𝑁𝑐 , 𝑁𝑞 and 𝑁𝛾 but by substituting ∅′ = tan−1 (3 tan ∅) for ∅ or by using Table 9.2

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ALLOWABLE BEARING CAPACITY AND FACTOR OF SAFETY
Generally, a factor of safety, Fs, of about 3 or more is applied to the ultimate soil-bearing capacity to arrive at
the value of the allowable bearing capacity. An Fs of 3 or more is not considered too conservative. In nature,
soils are neither homogeneous nor isotropic. Much uncertainty is involved in evaluating the basic shear
strength parameters of soil. There are two basic definitions of the allowable bearing capacity of shallow
foundations. They are gross allowable bearing capacity, and net allowable bearing capacity.

The allowable bearing capacity, 𝑞𝑎 , can be calculated by dividing the ultimate bearing capacity, 𝑞𝑢 , by a factor
of safety, FS. The factor of safety is intended to compensate for the assumptions made in developing the
bearing capacity equations, soil variability, inaccurate soil data and uncertainties of loads.

1. Gross allowable bearing capacity

𝑞𝑢
𝑞𝑎𝑙𝑙 =
𝐹𝑆

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2. Net allowable bearing capacity
𝑞𝑢𝑛𝑒𝑡
𝑞𝑎𝑙𝑙(𝑛𝑒𝑡) =
𝐹𝑆
𝑞𝑢𝑛𝑒𝑡 = 𝑞𝑢 − 𝑞

EFFFECT OF WATER TABLE ON BEARING CAPACITY

The unit weight of soil used in the equations for bearing capacity are effective unit weights. With the rising
water table, the subsoil becomes saturated and the unit weight of the submerged soil is greatly reduced. The
reduction of this unit weight results in decrease in the ultimate bearing capacity of the soil.

CASE 1. Groundwater level above base of footing

Figure 9.8. Groundwater level above base of footing

If the groundwater table is located at a distance D above the bottom of the foundation, the magnitude of q in
the second term of the bearing-capacity equation should be calculated as:
𝒒 = 𝛄(𝑫𝒇 − 𝑫) + 𝛄′ 𝑫

where: γ′ = γ𝑠𝑎𝑡 − γ𝑤 effective unit weight of soil. Also, the unit weight of soil, γ, that appears in the third
term of the bearing-capacity equations should be replaced by γ′.

CASE 2. Groundwater level at the base of footing

If the groundwater table coincides with the bottom of the foundation, the magnitude of 𝑞 is equal to γ𝐷𝑓 .
However, the unit weight, γ, in the third term of the bearing-capacity equations should be replaced by γ′.

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 Figure 9.9. Groundwater level at the base of footing

CASE 3. Groundwater level below the base of footing

When the groundwater table is at a depth D below the bottom of the foundation, 𝑞 = γ𝐷𝑓 . The magnitude of
γ in the third term of the bearing-capacity equations should be replaced by γ𝑎𝑣 .
A. For 𝐷 ≤ 𝐵
𝟏
𝛄𝒂𝒗 = [𝛄𝐃 + 𝛄′ (𝑩 − 𝑫) ]
𝑩
B. For 𝐷 > 𝐵
𝛄𝒂𝒗 = 𝛄

Figure 9.10. Groundwater level below the base of footing

Example 9.1. A square foundation is 1.5 m x 1.5 m in plan. The soil supporting the foundation has a friction
angle ∅ = 20°, and c = 15.2 kN/m2 . The unit weight of soil, γ, is 17.8 kN/m3. Determine the allowable gross
load on the foundation with a factor of safety (FS) of 4. Assume that the depth of the foundation (𝐷𝑓 ) is 1
meter and that general shear failure occurs in soil.
SOLUTION:
𝑞𝑢 = 1.3 𝑐 𝑁𝑐 + 𝑞 𝑁𝑞 + 0.4 𝛾𝑒 𝐵 𝑁𝛾
From Table 9.1 for ∅ = 20°
𝑁𝛾 = 3.64
𝑁𝑐 = 17.69

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𝑁𝑞 = 7.44
Thus,
𝑞𝑢 = 1.3 (15.2 kN/m2 )(17.69) + (1𝑚 𝑥 17.8 kN/m3 ) (7.44) + 0.4 (17.8 kN/m3 ) (1.5𝑚)(3.64)
𝑞𝑢 = 1.3 (15.2 kN/m2 )(17.69) + (1𝑚 𝑥 17.8 kN/m3 ) (7.44) + 0.4 (17.8 kN/m3 ) (1.5𝑚)(3.64)
𝑞𝑢 = 349.55 + 132.43 + 38.87 = 520.85 ≈ 521 kN/m2

So the allowable load per unit area of the foundation is

𝑞𝑢 521 kN/m2
𝑞𝑎𝑙𝑙 = = = 130.25kN/m2 ≈ 130kN/m2
𝐹𝑆 4

Thus, the total allowable gross load

Pall = q all x A = 130kN/m2 (1.5m)2
Pall = 292.5 KN

Example 9.2. A square foundation is shown in Figure 9.11. The footing will carry a gross mass of 30,000 kg.
Using a factor of safety of 3, determine the size of the footing—that is, the size of B.

Figure 9.11.

SOLUTION:
It is given that soil density = 1850 kg/m3. So
1850 x 9.81
γ= = 18.15 kN/m3
1000

Total gross load to be supported by the footing is

3000 x 9.81
Pall = = 294.3kN
1000
q u = 1.3 c Nc + q Nq + 0.4 γe B Nγ
qu 1.3 c Nc + q Nq + 0.4 γe B Nγ
q all = =
FS FS
but

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 Pall
q all =
A
Pall 1.3 c Nc + q Nq + 0.4 γe B Nγ
=
A FS
294.3 1.3 c Nc + q Nq + 0.4 γe B Nγ
2
=
B FS
From Table 9.1 for ∅ = 35°,
Nγ = 45.41

Nc = 57.75
Nq = 41.44
294.3 1.3 (0)(57.75) + (18.15 x 1) (41.44) + 0.4 (18.15) (B) (45.41)
=
B2 3
B = 0.95m

Example 9.3. A footing 1m square carries a total load, including its own weight, of 59,130 kg. The base of the
footing is at a depth of 1m below the ground surface. The soil strata at the site consist of a layer of stiff
saturated clay 27.5m thick overlying dense sand. The average density of the clay is 1,846 kg/m3. Determine:
a) Gross foundation pressure
b) Overburden pressure
c) Ultimate bearing capacity of the soil
d) Assuming local shear failure, determine the ultimate bearing capacity of the soil.

SOLUTION:
a) Gross foundation pressure
1
P 59130 x 9.81 x 1000
qg = =
A 1(1)
q g = 580 kN/m2

b) Overburden pressure
q = γDf

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γ = ρg = 1846 x 9.81 = 18109.26 N/m3 = 18.11 kN/m3
q = γDf = 18.11 kN/m3 (1m) = 18.11 kN/m2

c) Ultimate bearing capacity of the soil

q u = 1.3 c Nc + q Nq + 0.4 γe B Nγ
c = 1605 kg/m2 = 15.745kN/m2
B = 1m
From Table 9.1 for ∅ = 30°,
Nγ = 19.73

Nc = 37.16
Nq = 22.46
NOTE: This is under Case 2, the water table is at the base of footing. For the third term, we will use γ = γ′.
γ′ = γ𝑠𝑎𝑡 − γ𝑤 = (1965 𝑥 9.81) − 9810 = 9466.65N/m3
γ′ = 9.467 kN/m3
q u = 1.3 (15.745)(37.16) + 18.11(1)(22.46) + 0.4 (9.467)(1)(19.73)
q u = 1242 kN/m2

d) Assuming local shear failure, determine the ultimate bearing capacity of the soil.
2 2 15.745kN
c′ = c = ( 2
) = 10.497kN/m2
3 3 m
From Table 9.2, for ∅ = 30°,
N′γ = 4.39

N′c = 18.99
N′q = 8.31
NOTE: This is under Case 2, the water table is at the base of footing. For the third term, we will use γ = γ′.
γ′ = γ𝑠𝑎𝑡 − γ𝑤 = (1965 𝑥 9.81) − 9810 = 9466.65N/m3
γ′ = 9.467 kN/m3
q u = 1.3 c′ N′c + q N′q + 0.4 γ′ B N′γ
q u = 1.3 (15.745)(18.99) + (18.11)(1)(8.31) + 0.4 (9.467) (1)(4.39)
q u = 555.81 kN/m2

REFERENCES:
Das B.M., and Sobhan, K. (2014) Principles of Geotechnical Engineering, 8th ed. United States: Cengage
Learning
Gillesania, D.T, (2009) Fundamentals of Geotechnical Engineering. Philippines: Diego Inocencio Tapang
Gillesania

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